Programs, Architecture & Analytics

Root Cause Analysis Reporting

ThinkGRC Root Cause Analysis Reporting

One of the most important parts of the ThinkGRC Root Causes Analysis System (RCAS) is the ability to create standardized trend reporting which is a differentiator from traditional approaches.  Trend analysis has a wide range of benefits and we are going to use historic data to identify current problems and predict future events.  Leveraging the data generated from the ThinkGRC RCAS can provide two important services to your organization

1) Better “risk-based” decision making .

2) Better allocation of human and financial resources.  

With these services, Management can better justify resource allocation based on identified trends and heightened risks as opposed to one-off situations.  As mentioned earlier, the ThinkGRC RCAS identifies issues related to Problem Types, Programs and Management Systems.  By grouping data along these lines, we identify the need for organizational changes in operations, management, and culture in order to improve overall operational effectiveness and minimize risk.

By design, reporting is meant to occur at each step within the ThinkGRC RCAS Classification System as seen below.  In addition, each steps in meant to have a combined report with the preceding and prior step to generate even better data for use.  We will briefly describe the reporting that can be generated at each step and discuss some of the benefits.

  1. Problems – Issue Types and Classifications (Related to Incident Classification)
    1. Problem
    2. Problem Category
    3. Problem Type
  2. Programs (Initial Causes) (Related to Root Cause Classification)
    1. Causal Factor Operator
    2. Causal Factor
  3. Management Systems (Related to Root Cause Classification)
    1. Root Cause Operator
    2. Root Cause

Problem Reporting

Problem Reporting is our “top level” reporting indicator.  The ThinkGRC RCAS is mainly focused on Technology problems/incidents and therefore, we will initially differentiate between Infrastructure and Software.  Infrastructure can be any type of equipment, hardware, physical or non-physical service (e.g. network) that provides/supports the ability to conduct technology/business operations.  Software can be any type of software such as internally developed, purchased packages or software services used for any type of technology/business operations or to support infrastructure operations.

This initial differentiation will reveal the type of problems that we are having in relation to Infrastructure and Software.  This measure must be gauged against the type of operation and in doing so, will reveal basic top level areas of focus.  In most organizations, the delivery and management of infrastructure and software are the responsibility of different group or providers so this is a good place to start.      

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Problem Category Reporting

The Problem Category is the next step down in the logical grouping of Technology operations.  In general, most organizations differentiate operations along these lines, and we believe it is the next step in identifying issues.  With this information, we can further look into the problem areas of Technology operations.

thinkgrc_rca_problem-category

Problem Type Reporting     

Problem Type Reporting gives you better insight into the the type and severity of incidents that are occuring.  Outages and degradations can reflect overall business impact and bugs, crashes and human error can reflect the quality of work.  In the next steps, we will start to tie together the types of incidents with the origination of the problems through Programs and Management Systems.

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Problem Category and Problem Type Reporting

The Problem Category and Type Report provides valuable insight into the types of problems occurring in the technical or operations areas of the organization.  These metrics will serve as great benchmarks to measure the program effectiveness overtime.    

ThinkGRC_Problem Category and Problem Type

Causal Factor Operator Reporting

Causal Factor Operator Reporting is the first step in the assessment of problems related to Program Management.  Causal Factor Operators should always be viewed in relation to Causal Factors which will be depicted in an additional report.  Causal Factors reveal important high level information about the overall problems that we have in Program Management and Work Quality.  This information should be used to reflect on why there are trends and gaps in certain areas and how they can be improved by implementing changes in people, processes, management, or administration of these areas.

thinkgrc_rca_causal-factor-operator

Causal Factor Reporting

Causal Factor Reporting provides insight into the problems related to Program Management.  Causal Factors are a generalized list/logical grouping of programs, operational areas, or project functions that when not operating at an optimal or best in class level will result in inefficiencies, operational degradations or unwanted negative events such as problems & incidents.  

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Causal Factor Operator and Causal Factor Reporting

Causal Factor Operators coupled with Causal Factors will provide the detailed insight into where and how the deficiencies in programs, operational areas, or project functions are originating.  These are the underlying factors or causal factors for the problems/incidents occurring in your programs, operational areas and project functions.  By identifying these specific areas, targeted plans can be developed and implemented to eliminate or mitigate these deficiencies or deviations and therefore eliminate or mitigate existing and future problems/incidents.  The act of taking action to mitigate or eliminate problems/incidents is commonly referred to as Corrective and Preventative Actions Management (CAPA) and we will discuss CAPA reporting in future sections.

ThinkGRC_Causal Factor Operator and Causal Factor

Root Cause Operator Reporting

Root Cause Operator Reporting is the first stage in the assessment of problems related to Management Systems.  Root Cause Operators should always be viewed in relation to Root Causes which will be depicted in an additional report.  Root Cause Operators reveal important high level information about the overall problems that we have with Management Systems as an organization and culture.  This information should be used to reflect on why there are trends and gaps in certain areas how they can be improved by culture change or enhanced by implementing changes in people, processes, procedures or organizational structures.

thinkgrc_rca_root-cause-operator

Root Cause Reporting

Root Cause Reporting provides insight into the problems related to Management Systems. Root Causes are a generalized list/logical grouping of organizational structures, functions and culture that when not operating at an optimal or best in class level will result in inefficiencies, operational degradations or unwanted negative events such as problems & incidents.  

thinkgrc_rca_root-cause

Root Cause Operator and Root Cause Reporting

Root Cause Operator coupled with Root Cause provides detailed insight into where and how the deficiencies in Management Systems are originating.  These are the underlying factors or causal factors for the problems/incidents originating in management, structure, process, procedures and culture.  By identifying these specific areas, targeted plans can be developed and implemented to eliminate or mitigate these deficiencies or deviations and therefore eliminate or mitigate existing and future problems/incidents.  The act of taking action to mitigate or eliminate problems/incidents is commonly referred to as Corrective and Preventative Actions Management (CAPA) and we will discuss CAPA reporting in future sections.

ThinkGRC_Root Cause Operator and Root Cause

Want to get going? Check out: How to use the ThinkGRC Root Cause Analysis System.

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